The Law Offices of David A. Carter, P.A. is a South Florida securities fraud, securities arbitration, investor protection, and Chapter 7 bankruptcy law firm based in Boca Raton, Florida.
The Law Offices of David A. Carter, P.A. has its office in Boca Raton, Florida because of the obvious benefits of being located so close to FINRA [...]
2010. Standards of Commercial Honor and Principles of Trade
A member, in the conduct of its business, shall observe high standards of commercial honor and just and equitable principles of trade.
2020. Use of Manipulative, Deceptive or Other Fraudulent Devices
No member shall effect any transaction in, or induce the purchase or sale of, any security by means [...]
The Financial Industry Regulatory Authority (FINRA) recently announced that it is seeking authority to significantly expand the amount of information available to the public on current and former securities brokers (financial advisors) through its free online BrokerCheck service.
The proposed expansion – which FINRA will submit to the Securities and Exchange Commission (SEC) in the near [...]
The Law Offices of David A. Carter, P.A. is a South Florida securities fraud, securities arbitration, investor protection, and Chapter 7 bankruptcy law firm based in Boca Raton, Florida.
The Law Offices of David A. Carter, P.A. has its office in Boca Raton, Florida because of the obvious benefits of being located so close to FINRA [...]
FINRA recently announced that Dennis Ray Thompson Sr. has been barred from association with any FINRA member in any capacity. Additionally, Dennis Ray Thompson Jr. has been suspended from association with any FINRA member in any capacity for two years.
Without admitting or denying the findings, the Thompsons consented to the described sanctions and to [...]
On July 25, 2009, we published a post regarding a financial advisor named Neal Smalbach. In that post, we included an inadvertent typographical error regarding the dates that Mr. Smalbach was employed by Summit Brokerage Services, Inc. (“ Summit ”). Although we indicated that Mr. Smalbach had been employed with Summit from June [...]
The Law Offices of David A. Carter, P.A. is a South Florida securities fraud, securities arbitration, investor protection, and Chapter 7 bankruptcy law firm based in Boca Raton, Florida.
The Law Offices of David A. Carter, P.A. has its office in Boca Raton, Florida because of the obvious benefits of being located so close to FINRA [...]
The Law Offices of David A. Carter, P.A. is a South Florida securities fraud, securities arbitration, investor protection, and Chapter 7 bankruptcy law firm based in Boca Raton, Florida.
The Law Offices of David A. Carter, P.A. has its office in Boca Raton, Florida because of the obvious benefits of being located so close to FINRA [...]
On Sept. 28, 2009, the Securities and Exchange Commission (SEC) officially charged former GunnAllen Financial broker Frank Bluestein with fraud, alleging he helped run a $250 Ponzi scheme that entailed luring investors to refinance their home mortgages. The SEC did not name GunnAllen in its complaint. However, in April 2008, seven investors who said they [...]
The Law Offices of David A. Carter, P.A. is a South Florida securities fraud, securities arbitration, investor protection, and Chapter 7 bankruptcy law firm based in Boca Raton, Florida.
The Law Offices of David A. Carter, P.A. has its office in Boca Raton, Florida because of the obvious benefits of being located so close to FINRA [...]